SEC Reporting

Securities and Exchange Commission: Reporting Requirements

Course Overview
This course provides an overview of SEC reporting requirements. This includes information relating to Form S-1 and Form S-3 which relate to a company’s initial registration statement under the Securities Act of 1933. This course also addresses periodic reporting requirements as required by the Securities Exchange Act of 1934, the SEC’s Financial Reporting Manual, and selected topics relating to SEC Staff Accounting Bulletins.

Learning Objectives:

After completing this course, the participant should be able to:
  • Identify significant information required to be included within a company’s Form S-1 filing
  • Differentiate between forms filed as a requirement of Regulations S-K and S-X
  • Identify requirements of public accounting firms with respect to issuers
  • Recognize various types of non-GAAP financial measures
  • Recognize key requirements as a result of SEC Staff Accounting Bulletins

Prerequisites/Advanced Preparation:

Securities and Exchange Commission: Reporting Requirements

Speaker / Author:

John M. Fleming, CPA, MBA, is currently the Director, Content Development for SmartPros LTD, a division of Kaplan Professional Education. SmartPros is an international educational and training company specializing in accounting, finance and ethics educational programs. John previously served as President and Director of Accounting and Auditing for LOSCALZO ASSOCIATES, a division of SmartPros for twenty-eight years. John retired as President of Loscalzo Associates on January 1, 2014.

John’s prior practice experience includes audit, tax, consulting, office management, and human resource responsibilities with Deloitte LLP, Richard Eisner & Company LLP, and Ernst & Young LLP. John is a graduate of LaSalle and Drexel Universities with degrees in accounting and finance.

John, a Pennsylvania CPA, served as the 1999/2000 President of the 8,300 member Greater Philadelphia Chapter of the Pennsylvania Institute of Certified Public Accountants (PICPA) and currently serves as a member of the Institute’s Accounting and Auditing Technical Committee. In 2006, the PICPA recognized John as a Joseph E. Sterrett Fellow for his contributions to the accounting profession and in 2007, the Philadelphia Chapter recognized John with their Champion Award for his contributions to the PICPA, Chapter, profession and community. John has also served as the 2002/2003 President of the American Accounting Association’s Mid-Atlantic Region.

John and his wife Marge live in Medford, New Jersey.

Price (USD)

Standard: $49.90


Course Code : 99SEC04

Course Level : Basic
Course Type : QAS Self-Study
Length : 1hr 40min
Passing Grade : 70%
Field Of Study : Accounting
Theme : SEC Reporting

Format Type : eLearning
Mobile Compatible

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